Upper Basin Capital, LLC
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About
Upper Basin Capital, LLC provides discretionary asset management through separately managed accounts for institutional mandates and individual investors, including both high-net-worth and non-high-net-worth clients. The firm offers tailored portfolio management intended to address income generation, capital preservation, and liquidity needs and may negotiate account customizations and client-imposed restrictions.
The firm follows a systematic, quantitative investment process that emphasizes short- and medium-term option strategies—primarily equity index options and defined-risk option spreads—implemented alongside cash instruments, ETFs, and, more recently, U.S. Treasury bills. Strategies are actively managed at the portfolio level using specialized software and research, and they can involve derivative positions and the use of margin in separately managed accounts.
Noteworthy distinctions include the explicit use of derivatives and margin within separately managed accounts, a practice that is less common among firms in this category, and the firm’s acceptance of individual clients at multiple wealth levels in addition to institutional work. The firm operates with a single portfolio decision-maker who maintains significant outside employment and engages in personal trading activity, disclosures that create identifiable key-person and personal-trading considerations addressed by the firm’s policies.
Client services
Expertise
Fee options
0.00% to 1.50% annually (negotiable within this range)
10% to 20% of the annual increase in net asset value, subject to high-water mark and hurdle rate (10-year Treasury Bond yield plus 3.00%), negotiable
Account minimum: $25,000 minimum account size (may be waived at firm's discretion)
Main office
Steamboat Springs CO
Advisors at this office
1
Most active in
Colorado
Disclosures
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Business activities & affiliations
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Accountant / CPA / tax prep
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Lawyer
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Real estate agent
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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